4th Sep 2014 10:29
FORM 8.5 (EPT/NON-RI)
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | J.P. Morgan Securities LLC |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Shire Plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | AbbVie Inc. |
(d) Date position held/dealing undertaken: | 03 September 2014 |
(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer? | Yes. AbbVie Inc. |
2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER
(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)
Class of relevant security:
| ||||
| Interests | Short positions | ||
Number | % | Number | % | |
(1) Relevant securities owned and/or controlled: | 1,660,548 | 0.28% | 106,770 | 0.02% |
(2) Derivatives (other than options): | ||||
(3) Options and agreements to purchase/sell: | ||||
TOTAL: | 1,660,548 | 0.28% | 106,770 | 0.02% |
All interests and all short positions should be disclosed.
Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
(b) Rights to subscribe for new securities (including directors' and other executive options)
Class of relevant security in relation to which subscription right exists: | |
Details, including nature of the rights concerned and relevant percentages: |
If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
(a) Purchases and sales
Class of relevant security | Purchase/sale
| Number of securities | Price per unit (USD) |
ADS | Purchase
Sale | 2,000 100 200 410 1,100 100 100 100 38,842 100 1,000 200 100 100 100 100 100 100 100 100 100 900 200 8,523 400 100 3,700 100 100 1,200 200 41,665 100 200 200 100 100 100 100 300 100 100 28,886 100 200 700 200 200 163 100 400 100 100 100 100 100 100 100 100 100 21,500 100 100 1,100 100 400 200 1,200 300 500 100 200 100 107 1,993 36 3,456 100 11,500 4,279 12,626 100 177 100 23,273 100 5,240 100 100 1,000 100 100 1,200 200 7,988 100 17,126 7,812 21,500 1,900 400 2,200 43,203 9,358 700 11 100 100 200 200 300 400 100 200 266 800 67 100 100 100 300 100 93 100 300 300 600 100 200 200 600
38,842 4 21,500 21,500 100 100 100 100 100 100 218 100 100 308 282 134 166 100 100 298 190 1,467 1,129 2,766 200 100 50 50 100 | 243.6200 243.7000 243.7800 243.8300 243.8350 243.8450 243.8500 243.8600 243.8700 243.8750 243.9450 243.9500 243.9700 244.0050 244.0100 244.0150 244.0200 244.0350 244.0400 244.0500 244.0550 244.0600 244.0650 244.0685 244.0700 244.0750 244.0800 244.0900 244.1100 244.1200 244.1600 244.1674 244.1700 244.1750 244.1800 244.1900 244.1950 244.2050 244.2150 244.2300 244.2350 244.2700 244.2769 244.2800 244.2850 244.2900 244.3400 244.3450 244.3500 244.3550 244.3600 244.3700 244.3800 244.3850 244.3950 244.4000 244.4050 244.4100 244.4150 244.4700 244.4770 244.4800 244.4850 244.4900 244.4950 244.5100 244.5250 244.5400 244.5500 244.5900 244.5950 244.6000 244.6300 244.6450 244.6600 244.6750 244.8199 244.8500 244.8950 244.8991 244.9427 245.0400 245.1125 245.1550 245.3841 245.4000 245.4278 245.4800 245.4850 245.5125 245.5250 245.5400 245.5500 245.5900 245.5907 245.5950 245.6294 245.6527 245.6750 245.6800 245.7100 245.7500 245.7768 246.0000 246.0900 246.2200 246.2250 246.2650 246.2700 246.2800 246.2850 246.2900 246.3000 246.3300 246.3350 246.3400 246.3500 246.3550 246.3700 246.3750 246.3800 246.5200 246.5300 246.6150 246.6450 246.6500 246.7400 246.7500 246.8050 246.8150 246.8200
243.8700 243.9300 244.4775 245.6750 246.1000 246.1200 246.1300 246.1350 246.1900 246.2300 246.2338 246.2400 246.2500 246.2661 246.2678 246.2700 246.2750 246.2950 246.4100 246.4248 246.4353 246.4831 246.4953 246.5440 246.5600 246.5700 246.5800 246.5900 246.6900 |
(b) Derivatives transactions (other than options)
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
|
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class of relevant security | Product description e.g. call option | Writing, purchasing, selling, varying etc. | Number of securities to which option relates | Exercise price per unit (USD) | Type e.g. American, European etc. | Expiry date | Option money paid/ received per unit (USD) |
(ii) Exercising
Class of relevant security | Product description e.g. call option | Number of securities | Exercise price per unit |
(d) Other dealings (including subscribing for new securities)
Class of relevant security | Nature of dealing e.g. subscription, conversion | Details | Price per unit (if applicable) |
|
The currency of all prices and other monetary amounts should be stated.
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer: If there are no such agreements, arrangements or understandings, state "none" |
|
(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader making the disclosure and any other person relating to: (i) the voting rights of any relevant securities under any option; or (ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state "none" |
|
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? | No |
| Date of disclosure: | 04 September 2014 |
| Contact name: | Tung T Le
|
| Telephone number: | 020 7742 7272 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [email protected]. The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
Related Shares:
Shire